Become a Registered Investment Advisor

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The Series 65 Exam[edit]

Kaplan series 65 exam 2014 - get the 'Basic Self-Study Solution'!

"Make sure to get the Q- Bank questions on Kaplan's website as well and do 300-500 questions a day until you are scoring high 80's- low 90's."

Rules on registration:

Setting Up an RIA[edit]

https://www.kitces.com/blog/meeting-the-requirements-to-start-your-own-ria-without-breaking-the-bank

https://www.kitces.com/blog/setting-up-an-ria-and-starting-a-new-financial-planning-practice-on-less-than-10000/

  1. Register the fictitious business name
  2. Sole proprietorship (to start!)
  3. Form the RIA (U-4, &etc)
  4. Open a business checking account
  5. Consider E&O Insurance

http://www.riainabox.com/blog/how-much-does-it-cost-to-start-an-ria-firm

http://www.ria-compliance-consultants.com/california_state_investment_adviser_registration_requirements.html

Additional Certifications[edit]

See also: Become a Certified Financial Planner